DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
A•••••• R•••••••• M••••••
Feed of 09/14/2026
Also filed as T••• M••••••
At current firm
15 y
since Aug 22, 2011
In the industry
37 y
since Oct 7, 1988 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••••• A••••••• national BD currentsince Aug 22, 2011 · Duluth, Ga
- S••••••• I••••••••• S•••••••• I••• formerFeb 19, 2003 to Jul 15, 2003 · Atlanta, Ga
- T••••• S••••••••• I••• unclassifiedJun 12, 2002 to Jul 15, 2003 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- S••••••• I••••••••• S•••••••• I••• to P•••••••• A•••••••left Jul 15, 2003, registered Aug 22, 2011 (2960 days) · Other
- T••••• S••••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Jul 15, 2003, registered Feb 19, 2003 (-146 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address